Leveraging Regulatory Technology for Your Firm

Accreditation Wreath Icon AL
SKU: SEC061
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

In this CLE, the panelists delve into the impact of RegTech on the securities industry, examining the associated benefits, risks, and regulatory factors. They explore a range of RegTech tools that can enhance compliance efforts, including the innovative Machine Readable Rulebook introduced by FINRA. The session highlights the role of artificial intelligence and cloud computing in these tools.

Key topics covered include:

  • Considerations for utilizing RegTech tools, particularly those incorporating AI, to ensure regulatory compliance. This involves vendor assessment, risk evaluation, supervision requirements, and effective vendor management.
  • Discussion on FINRA's Machine Readable Rulebook and the utilization of Regulatory Intelligence tools that aid in navigating regulatory frameworks.
  • Exploration of the process of transitioning records to the cloud, addressing the benefits, challenges, and best practices associated with cloud-based recordkeeping.
  • Examination of the recent amendments made by the SEC in relation to electronic recordkeeping requirements, providing insights and implications for industry practitioners.
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